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Alternative Trading Systems Operator Liquidnet Charged with Violations of Market Access Rule and for Failing to Protect Confidential Subscriber Trading Information
The Securities and Exchange Commission today announced settled charges against broker-dealer Liquidnet Inc., an operator of multiple alternative trading systems (ATSs), for failing to have necessary controls and procedures regarding market access, for… Full report at: Read More
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Bills Moving Through the U.S. Congress
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From the U.S. Attorney’s Office, Northern District of New York: SYRACUSE, NEW YORK – “John Doe,” of Owego, New York, was sentenced today to 57…
Sigrid Yahner, mother of Eric Bonetti Alexandria, VA (Law Firm Newswire) December 02, 2022 – The Episcopal Survivors Network (ESN), a nonprofit representing victims of…
SEC Charges Additional Parties in Fraudulent Office Space Investment Scheme Read the full report at Read More
From the U.S. Attorney’s Office, District of New Jersey: TRENTON, N.J. – A Somerset County, New Jersey, man was sentenced today to 46 months in…
From the U.S. Attorney’s Office, District of Connecticut: Vanessa Roberts Avery, United States Attorney for the District of Connecticut, announced that OLAJUWON HARRINGTON, also known…
SEC Charges New Defendant and Adds Whistleblower Impeding and Retaliation Claims in $149 Million Offering Fraud Case Read the full report at Read More
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 8 at 10 a.m. ET. The meeting will be webcast on…
The Securities and Exchange Commission today announced that David L. Peavler, the Director of the Fort Worth Regional Office since 2019, is leaving the agency…
December 1, 2022 Contact: Office of Communications Phone: 202-693-1999 From OSHA: Read More
SEC Obtains Final Judgments Against Index Manager and Friend for Insider Trading Read the full report at Read More